FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Hits BD With $250K Fine Over Emails, IMs
By Melanie WaddellH2C Securities failed to preserve and review over 1.25 million business-related electronic communications on four platforms.
March 18, 2024
FINRA Levies First Enforcement Action in Finfluencers SweepM1 Finance will pay $850,000 over deceptive social media posts by influencers, FINRA says.
March 15, 2024
Advisor Accuses LPL of 'Raiding' His Firm in RetaliationThe wealth manager alleges that LPL retaliated after he started looking for another broker-dealer.
March 15, 2024
FINRA Fines Osaic Wealth, Securities America Over Cyber BreachesThe breaches compromised the personal data of more than 32,000 clients, FINRA says.
March 14, 2024
FINRA's Top 5 Fine Categories in 2023Total fines surged 63%, according to the law firm Eversheds Sutherland.
March 12, 2024
Treasury Proposes Curbs on Use of Life and Annuities in Wealth PlanningClients might have to pay ordinary income taxes and a 10% penalty on cash taken from the arrangements.
March 12, 2024
FINRA Suspends Ex-Rep Over Reg BI ViolationsThree clients experienced excessive and unsuitable trades that were not in their best interest, FINRA said.
March 07, 2024
FINRA Arbitration & Mediation: 6 Reasons to Do BothHere's an in-depth look at why you don't want to limit your advisory practice to only one method of dispute resolution.